-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FeN9Cewx4h8LROIA4k3Gf45YHUPu9fJNtFywFA4hg1hlYCktlqCMJm8j8k1u9M7i vXXFNRsLbRE0RV38gqf0pw== 0000049071-03-000042.txt : 20030508 0000049071-03-000042.hdr.sgml : 20030508 20030508154529 ACCESSION NUMBER: 0000049071-03-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030507 FILED AS OF DATE: 20030508 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HUMANA INC CENTRAL INDEX KEY: 0000049071 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 610647538 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 FORMER COMPANY: FORMER CONFORMED NAME: EXTENDICARE INC DATE OF NAME CHANGE: 19740404 FORMER COMPANY: FORMER CONFORMED NAME: HERITAGE HOUSE OF AMERICA INC DATE OF NAME CHANGE: 19671129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHIELDS R EUGENE CENTRAL INDEX KEY: 0001119684 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 03688173 BUSINESS ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN ST. CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0101 42003-05-07 049071 HUMANA INC HUM1119684 SHIELDS R EUGENE 0100Senior Vice President-Gov PrgmHumana Common2003-05-075J025520D154029DEach share of Common Stock contains a Right adopted on March 5, 1987, pursuant to the Company Rights Agreement, as amended and restated on February 14, 1996, and amended as of May 27, 1998 and March 1, 1999, which entitles holders of the Company's Common Stock, in the event certain specified events occur, to acquire 1/100 of a share of Series A Participating Preferred Stock at a price of $145 per fractional share.Shares held by two (2) of reporting person's three (3) children, all of whom are over the age of majority and no longer reside with reporting person. The third child holds 1,277 shares and remains in reporting person's household.Reporting person has 8,800 shares held for his benefit, as of April 30, 2003, under the Humana Retirement & Savings Plan inc luding a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).Reporting person has a right to buy 149,215 derivative securities (options) acquired between 1/15/98 and 3/13/03 at the exercise prices between $9.26 and $19.25, of which 120,882 are currently exercisable.Reporting person has 3,719 Phantom Stock Units held for his benefit, as of April 30, 2003, under the Humana Excess Plan, exempt under Rule 16b-3(d).R. Eugene Shields2003-05-08 -----END PRIVACY-ENHANCED MESSAGE-----